PRE-TRIAL BRIEF; EFFECTS OF FAILURE TO FILE
(Rule 18 of the 2019 Revised Rules of Civil Procedure, Philippines)

I. OVERVIEW OF PRE-TRIAL BRIEF UNDER RULE 18

Definition and Purpose
- A pre-trial brief is a written document required from each party prior to the conduct of pre-trial. It crystallizes the parties’ respective positions by setting forth claims, defenses, factual stipulations, issues, and evidence to be presented during trial.
- This requirement ensures that the pre-trial conference is productive, streamlined, and geared toward avoiding surprise at trial, circumscribing the issues, facilitating admissions, and encouraging settlement.
Governing Provision
- The principal provision on the pre-trial brief is found in Section 6, Rule 18 of the 2019 Revised Rules of Civil Procedure.
- Complementary rules on failure to appear at pre-trial or failure to file the pre-trial brief are found in Section 5, Rule 18.

II. CONTENTS OF THE PRE-TRIAL BRIEF

Under Section 6, Rule 18, each party is required to file a pre-trial brief, which must contain, at the minimum, the following:

A statement of their willingness to enter into an amicable settlement or alternative modes of dispute resolution (ADR), indicating the desired terms.
A concise statement of the following:
- Admitted facts;
- Disputed facts; and
- Proposed stipulations of facts.
The legal issues to be tried or resolved.
Evidence:
- The documents or exhibits to be presented, stating their purpose; and
- A specification of the witnesses, with a summary of their intended testimonies.
Applicable laws and jurisprudence supporting the party’s claims or defenses.
Number and names of witnesses (including the approximate number of hours for direct examination for each).
Other matters as the court may require.

Note: Under the revised rules, the pre-trial brief must be served on the adverse party and filed with the court at least three (3) days before the scheduled pre-trial. Failure to comply can have severe procedural consequences.

III. EFFECTS OF FAILURE TO FILE THE PRE-TRIAL BRIEF

Same Effect as Failure to Appear at Pre-trial
- Section 6, Rule 18 explicitly states: “Failure to file the pre-trial brief or to comply with its required contents shall have the same effect as failure to appear at the pre-trial.”
- Under Section 5, Rule 18, if a party fails to appear at the pre-trial (without valid excuse), the following consequences ensue:
  - If the plaintiff fails to appear, the case may be dismissed with prejudice, unless otherwise ordered by the court.
  - If the defendant fails to appear, the defendant shall be declared in default, and the plaintiff is allowed to present evidence ex parte, subject to the court’s discretion.
- By express provision, failure to file a pre-trial brief is tantamount to not appearing at all; therefore, the same dismissal/default rulings may apply.
Waiver of Claims or Defenses and Evidentiary Exclusions
- Even if the court does not outright dismiss the complaint or declare the defendant in default, the party who fails to file (or files an incomplete) pre-trial brief risks waiver of certain claims, defenses, or the right to present evidence on matters not included in the brief.
- The courts have consistently emphasized that the pre-trial brief binds the party on what is offered as evidence and what issues will be raised. Any evidence or issue not indicated in the pre-trial brief (or not later allowed by the court for good cause) can be disallowed at trial.
Possible Imposition of Other Sanctions
- The trial court, in the exercise of its discretion, may impose additional sanctions against the non-complying party or counsel, such as contempt, censure, or administrative sanctions (in extreme cases) if the failure to file is shown to be inexcusable or dilatory.
- Courts are encouraged to strictly enforce these requirements to ensure the expeditious resolution of cases.

IV. RELEVANT JURISPRUDENTIAL GUIDELINES

Strict Adherence to Pre-trial Requirements
- The Supreme Court has repeatedly underscored that pre-trial is a mandatory procedural device, a critical component of trial management. Non-compliance or carelessness in its observance frustrates the very purpose of pre-trial—simplification of issues, promotion of settlement, and expeditious disposition of cases.
Liberal Interpretation vs. Strict Application
- While the rules generally must be observed strictly, there can be instances where a more liberal interpretation may be allowed—for instance, if a party shows compelling, meritorious reasons for failing to file a complete pre-trial brief on time (e.g., force majeure, illness).
- However, liberal application of the rules is discretionary upon the court and must still uphold fairness and due process. The default presumption is to sanction a party for non-compliance unless justified.
Effect on Counsel
- Counsel’s negligence or oversight in filing the pre-trial brief can bind the client if no compelling reason is offered. Courts typically hold that “the negligence of counsel binds the client,” unless the negligence is so gross and inexcusable that it amounts to a deprivation of due process.

V. PRACTICAL POINTERS AND LEGAL ETHICS CONSIDERATIONS

Timely Preparation and Filing
- Lawyers must ensure that the pre-trial brief is complete, accurate, and filed on time (at least three days before pre-trial).
- Serve a copy on the opposing party or counsel, with proof of service.
Inclusion of All Claims, Defenses, and Evidence
- Carefully list all causes of action or defenses, along with the supporting documentary and testimonial evidence.
- Anticipate possible issues and address them thoroughly; any omission may result in waiver.
Coordination with Client
- Lawyers must communicate with their clients to identify all facts, documents, witnesses, and possible settlements. This ensures that the pre-trial brief accurately reflects the case’s strategy.
- Proper coordination also minimizes the risk of unintentional omissions.
Ethical Duty of Diligence
- Under the Code of Professional Responsibility, lawyers are duty-bound to serve their clients with competence and diligence. Negligent failure to file or comply with the pre-trial brief requirements can expose counsel to administrative liability.
- A conscientious lawyer must avoid last-minute, haphazard filings; being meticulous is key.

VI. CONCLUSION

Under Rule 18 of the 2019 Revised Rules of Civil Procedure, filing a complete and timely pre-trial brief is mandatory. Failure to comply is tantamount to non-appearance at pre-trial, potentially resulting in dismissal (if by the plaintiff) or default (if by the defendant), along with waiver of claims/defenses and inability to present evidence. The Supreme Court has consistently stressed strict adherence to these procedural requirements. From an ethical standpoint, counsel must exhibit utmost diligence in preparing the pre-trial brief, ensuring that all facts, issues, and evidence are fully and accurately presented. In so doing, parties and their counsel uphold both judicial efficiency and the integrity of the legal process.